SEBI

Go Public through SME IPO’s

SEBI - Ever heard of SME IPO’s or how they work? They are surely not that difficult as it seems. This article will give you a basic understanding of what really is the concept of SME IPO, emergence of the SME exchanges in India along with the listing criterias and procedure. Bur before digging deep, let us […]...

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An Imposition of Penalty of Rs. 25 Cr on RIL Promoters

SEBI - Amid the COVID -19 clouds we have an another SEBI judgement on the RIL that made headlines ‘SEBI IMPOSES PENALTY OF RS. 25 Cr on RIL Promoters‘ and that headline made us believe that we are headstrong in protecting every investor and every individual. However it raised some basic questions of law and there retrospective [&hell...

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Re-classification of Promoters and Promoter Group of Listed Entity

SEBI - Shareholders in a listed company are classified under two broad categories, i.e. those that belong to the promoter/promoter group and those shareholders who are members of the public with no formal relationship with the promoter/promoter group....

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Migration from SME to Main Board

SEBI - In this Article I will explain the relevant provisions of SEBI (LODR) Regulations 2015, SEBI (ICDR) Regulations 2018, and of Companies Act 2013 w.r.t the Voluntary Migration of an issuer from SME Emerge platform to the Main Board....

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Brief on SEBI Research Analyst Regulations 2014

SEBI - After a complete regulatory overhaul in Investment Advisory regulations SEBI is soon expected to come out with regulatory overhaul for Research Analyst space also. There is a greater need to align you with the regulation and be on the right side of the regulation as the regulator prepares to launch a review of regulatory compliance [&hell...

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Securities Contracts (Regulation) Act, 1956

SEBI - Securities Contracts (Regulation) Act, 1956 (As amended by the Finance Act, 2021 (13 of 2021) w.e.f. April 1, 2021) Securities and Exchange Board of India SECURITIES CONTRACTS (REGULATION) ACT, 1956 [42 OF 1956] SECTIONS PRELIMINARY 1. Short title, extent and commencement 2. Definitions RECOGNISED STOCK EXCHANGES 3. Application for recogn...

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Securities and Exchange Board of India Act, 1992

SEBI - Securities and Exchange Board of India Act, 1992 (As amended by the Finance Act, 2021 (13 of 2021) w.e.f. April 1, 2021) Securities and Exchange Board of India Act, 1992 SECTIONS CHAPTER I PRELIMINARY 1. Short title, extent and commencement 2. Definitions CHAPTER II ESTABLISHMENT OF THE SECURITIES AND EXCHANGE BOARD OF INDIA 3. Establishm...

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Filing of Annual Secretarial Compliance Report In XBRL Mode By Companies

SEBI - It has been decided that filings in respect of Annual Secretarial compliance report should be filed by all listed companies, through XBRL mode in addition to the filing in PDF mode....

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Paper on review of Regulatory Provisions related to Independent Directors

SEBI - SEBI Consultation Paper on Review of Regulatory Provisions related to Independent Directors - To solicit public comments / views on the proposals on review of regulatory provisions related to Independent Directors (IDs) on the boards of listed entities....

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Introduction of Concept of “Accredited Investors” in Indian securities market

SEBI - The objective of Consultation Paper on Introduction of concept of Accredited Investors in Indian securities market is to seek comments from the public and various stakeholders of the securities market, on the proposal to introduce the concept of Accredited Investors in the Indian securities market....

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SEBI fines Ambani Family for Irregularities in RIL Shareholding

In Re Shri Mukesh D. Ambani & Ors (SEBI) - It was alleged that the obligation not to make additional acquisition of more than 5% of voting rights in any financial year unless such acquirer makes a public announcement to acquire shares in accordance with the regulations under regulation 11(1) of Takeover Regulations arose on January 7, 2000, ...

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SEBI Bans Kishore & Anil Biyani of Future Group for Insider Trading

In re Future Retail Limited (SEBI) - In re Future Retail Limited (SEBI) (i) Noticee Future Corporate Resources Private Limited, Kishore Biyani, Anil Biyani, Rajesh Pathak and Rajkumar Pande are restrained from accessing the securities market and further prohibited from buying, selling or otherwise dealing in securities, directly or ind...

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SEBI penalises NDTV for concealing material & price sensitive information

In re New Delhi Television limited (SEBI) - In re New Delhi Television limited (SEBI) Disclosure requirements have their root in the continuous listing requirements laid down in the listing agreement which prescribed that the information must be disclosed at the time of occurrence of the event in order to enable the shareholders and the publi...

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NDTV Promoters Prannoy & Radhika Roy Guilty Of Insider Trading: SEBI

In Re. Mr. Prannoy Roy & Mrs. Radhika Roy (SEBI) - In Re. Mr. Prannoy Roy & Mrs. Radhika Roy (SEBI) It is a fact on record that Mr. Prannoy Roy was the Managing Director/Promoter and Mrs. Radhika Roy was the Chairman/Promoter of NDTV during the UPSI period and were in possession of the UPSI (PSI-6). That the Noticees have purchased 4835850 share...

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SEBI imposes Rs. 5 Lakh Penalty for non-genuine trading in Illiquid Stock Options

In respect of Pradeep Kumar Kayan (SEBI) - SEBI conducted an investigation into the trading activities of certain entities in Illiquid Stock Options at BSE  for the period April 1, 2014 to September 30, 2015. It was observed that during the investigation period, total 2,91,643 trades comprising substantial 81.38% of all the trades executed ...

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Complete Refund for Non or partial allotted Rights Issue application on or before T+1 day

Notification No. SEBI/HO/CFD/DIL2/CIR/P/2021/552 - (22/04/2021) - a. Refund for un-allotted / partial allotted application shall be completed on or before T+1 day (T: Basis of allotment day). b. Registrar to the issue, shall ensure that all data with respect to refund instructions is error free to avoid any technical rejections. Further, in case of any technical r...

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SEBI Guidelines for warehousing norms for agricultural/agri-processed & non-agricultural goods

Notification No. SEBI/HO/CDMRD/DMP/P/CIR/2021/551 - (16/04/2021) - Guidelines for warehousing norms for agricultural/agri-processed goods and non-agricultural goods (only base/industrial metals) underlying a commodity derivatives contract having the feature of physical delivery...

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Guidance note on Regulations 50(3) & 51(2) of Listing Regulations

Notice No. 20210415-15 - (15/04/2021) - Guidance Note of the Exchange with respect to the Regulations 50(3) and 51 (2), Schedule III, Part B, Item 15 of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 (SEBI (LODR) Regulations)....

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SEBI revises Reporting Formats for Mutual Funds

Notification No. SEBI/HO/IMD/IMD-I DOF2/P/CIR/2021/550  - (12/04/2021) - Based on the consultation with industry the formats for the following reports i.e. reports to be submitted by AMCs to Trustees, by AMCs to SEBI and by Trustees to SEBI have been reviewed and revised...

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SEBI cautions investors against impersonation

Press Releases. 16/2021 - (12/04/2021) - SEBI cautions investors against such impersonations and further advises as under: Beware of emails / any other communication impersonating employees of SEBI and refrain from responding to such emails / communication. The only official and genuine website of SEBI, where an investor can file his/her c...

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Recent Posts in "SEBI"

Go Public through SME IPO’s

Ever heard of SME IPO’s or how they work? They are surely not that difficult as it seems. This article will give you a basic understanding of what really is the concept of SME IPO, emergence of the SME exchanges in India along with the listing criterias and procedure. Bur before digging deep, let us […]...

Read More
Posted Under: SEBI |

Complete Refund for Non or partial allotted Rights Issue application on or before T+1 day

Notification No. SEBI/HO/CFD/DIL2/CIR/P/2021/552 22/04/2021

a. Refund for un-allotted / partial allotted application shall be completed on or before T+1 day (T: Basis of allotment day). b. Registrar to the issue, shall ensure that all data with respect to refund instructions is error free to avoid any technical rejections. Further, in case of any technical rejection of refund instruction, same sha...

Read More

An Imposition of Penalty of Rs. 25 Cr on RIL Promoters

Amid the COVID -19 clouds we have an another SEBI judgement on the RIL that made headlines ‘SEBI IMPOSES PENALTY OF RS. 25 Cr on RIL Promoters‘ and that headline made us believe that we are headstrong in protecting every investor and every individual. However it raised some basic questions of law and there retrospective [&hell...

Read More
Posted Under: SEBI |

Re-classification of Promoters and Promoter Group of Listed Entity

Shareholders in a listed company are classified under two broad categories, i.e. those that belong to the promoter/promoter group and those shareholders who are members of the public with no formal relationship with the promoter/promoter group....

Read More
Posted Under: SEBI |

SEBI Guidelines for warehousing norms for agricultural/agri-processed & non-agricultural goods

Notification No. SEBI/HO/CDMRD/DMP/P/CIR/2021/551 16/04/2021

Guidelines for warehousing norms for agricultural/agri-processed goods and non-agricultural goods (only base/industrial metals) underlying a commodity derivatives contract having the feature of physical delivery...

Read More

Guidance note on Regulations 50(3) & 51(2) of Listing Regulations

Notice No. 20210415-15 15/04/2021

Guidance Note of the Exchange with respect to the Regulations 50(3) and 51 (2), Schedule III, Part B, Item 15 of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 (SEBI (LODR) Regulations)....

Read More

Migration from SME to Main Board

In this Article I will explain the relevant provisions of SEBI (LODR) Regulations 2015, SEBI (ICDR) Regulations 2018, and of Companies Act 2013 w.r.t the Voluntary Migration of an issuer from SME Emerge platform to the Main Board....

Read More
Posted Under: SEBI |

Brief on SEBI Research Analyst Regulations 2014

After a complete regulatory overhaul in Investment Advisory regulations SEBI is soon expected to come out with regulatory overhaul for Research Analyst space also. There is a greater need to align you with the regulation and be on the right side of the regulation as the regulator prepares to launch a review of regulatory compliance [&hell...

Read More
Posted Under: SEBI |

SEBI revises Reporting Formats for Mutual Funds

Notification No. SEBI/HO/IMD/IMD-I DOF2/P/CIR/2021/550  12/04/2021

Based on the consultation with industry the formats for the following reports i.e. reports to be submitted by AMCs to Trustees, by AMCs to SEBI and by Trustees to SEBI have been reviewed and revised...

Read More

SEBI cautions investors against impersonation

Press Releases. 16/2021 12/04/2021

SEBI cautions investors against such impersonations and further advises as under: Beware of emails / any other communication impersonating employees of SEBI and refrain from responding to such emails / communication. The only official and genuine website of SEBI, where an investor can file his/her complaint is https://scores.gov.in and me...

Read More

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